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John Sterling Ubaldi

Ubs Financial Services Inc.

Brentwood, CA

San Jose, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-05-25
CA RA APPROVED 2023-04-15
  • TX RA
    APPROVED_RES
    Since 2026-05-25
  • CA RA
    APPROVED
    Since 2023-04-15

Branch Locations

Brentwood, CA • United States

355 Santana Row Suite 2050, San Jose, CA 95128 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Digital Media Solutions San Diego CA 06/2020 02/2021
Boys And Girls Club Chico CA 08/2019 12/2019
Nordstrom Pleasanton CA 06/2013 01/2018
Ubs Financial Services Inc San Jose CA 03/2020 Present
Pacific Office Automation Pleasanton CA 01/2020 02/2020
None Dublin CA 03/2020 06/2020
None Chico CA 01/2018 08/2019
  • 06/2020 → 02/2021
    Digital Media Solutions
    San Diego, CA
  • 08/2019 → 12/2019
    Boys And Girls Club
    Chico, CA
  • 06/2013 → 01/2018
    Nordstrom
    Pleasanton, CA
  • 03/2020 → Present
    Ubs Financial Services Inc
    San Jose, CA
  • 01/2020 → 02/2020
    Pacific Office Automation
    Pleasanton, CA
  • 03/2020 → 06/2020
    None
    Dublin, CA
  • 01/2018 → 08/2019
    None
    Chico, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-04-14
S63 Uniform Securities Agent State Law Examination 2023-02-06
  • S65 Uniform Investment Adviser Law Examination
    2023-04-14
  • S63 Uniform Securities Agent State Law Examination
    2023-02-06

View on SEC IAPD

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Other Investors

ISHMAEL TARIQ ABDUL AL-BARI
MOHAMMED DAUD MUNSIFZADAH
Tiffany Diaz
JEFFERY ALEX MCKANNAY
DANIEL PAUL TORRES
DAVID STANLEY ROCHE
Nicholas Chun Loong Ng
GILLIAN HUANYIH LIM

Other Offices

LPL FINANCIAL LLC · BRENTWOOD, CA
EAGLE STRATEGIES LLC · BRENTWOOD, CA
LPL FINANCIAL LLC · BRENTWOOD, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BRENTWOOD, CA
PFS INVESTMENTS INC. · BRENTWOOD, CA
CENTAURUS FINANCIAL, INC. · Brentwood, CA
LPL FINANCIAL LLC · BRENTWOOD, CA
EDWARD JONES · BRENTWOOD, CA

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